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Financial & Insurance Services
Access financial and insurance services templates and training courses that support financial literacy, audits, and core operational processes. Help your teams reduce errors, manage risk, and keep financial work accurate and consistent.
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FAIS Compliance Audit Checklist (Category II)
This FAIS compliance audit checklist supports Category II financial services providers in conducting a monthly monitoring review. It covers regulatory requirements for CIS managers and white-label funds, documentation of portfolio management processes, mandate approval and retention, client fact-finding and risk profiling, and ensuring product-risk alignment. It also checks controls on trade netting, asset swaps between client portfolios, significant withdrawals, and complaint handling. Use it to structure evidence gathering, confirm adherence to codes of conduct, and finalize the audit with clear sign-off by the compliance officer.
by Freddie Eilers, from the CommunityDownloads: 30+Get - Template
HUD Compliance Audit Checklist
Use this HUD compliance audit checklist to evaluate FHA Title I and II lender obligations. It guides auditors through quality control plan implementation, oversight of third party originators, branch registration and operations, and timely monitoring of early payment defaults. Verify HMDA and program activity reporting, annual recertification, adjusted net worth, liquidity, fidelity bond and errors and omissions coverage, and NMLS filings. Document findings and corrective actions.
by MittiDownloads: 20+Get - Template
HUD Audit Checklist
This HUD audit checklist helps auditors evaluate FHA approved lenders for compliance with HUD requirements. It covers general audit requirements, financial statements prepared under GAAP, reporting under GAAS and GAGAS, internal control over financial reporting and program compliance, and the compliance report with tested areas. It outlines schedules of findings and questioned costs, corrective action planning, and guidance for electronic submission of audited financial statements and compliance data to HUD within required timelines. The checklist also addresses lender recertification, adjusted net worth, liquidity, loan origination and servicing, escrow accounts, eligible fees, kickbacks, and required quality control plans, providing a structured approach to consistent, efficient audits.
by MittiDownloads: 20+Get - Template
Liste de contrôle de l'audit des actifs fixes
Ce modèle permet aux comptables internes des actifs fixes et aux auditeurs tiers de s'assurer que l'entreprise tient des dossiers appropriés sur les immobilisations, que l'amortissement des actifs fixes est correctement calculé et que les normes comptables sont respectées.
by MittiDownloads: 20+Get - Template
Public Liability Checklist Aviva Standard
This Public Liability checklist follows the Aviva Loss Prevention Standard V1.0 to help organizations manage third party risk. Use it to verify risk assessments across sites, confirm hazard spotting and task specific training, ensure employees working off site are competent and equipped, and manage contractors through competency checks, insurance verification, RAMS, permits to work, and supervision. Capture comments and sign off to document due diligence and strengthen compliance with insurer and regulatory expectations.
by MittiDownloads: 20+Get - Template
Lista de comprobación de las adquisiciones
Se utiliza una lista de verificación de adquisiciones para garantizar que se cumplan los procesos internos para evitar demoras o incluso el rechazo de adquisiciones. Los directores de adquisiciones pueden usar esta lista de verificación de adquisiciones para cubrir todas las consideraciones necesarias en las adquisiciones. Digitalizada a partir de un formulario de contratación pública, puede utilizar esta lista de verificación de adquisiciones con la aplicación de SafetyCulture.
by MittiDownloads: 20+Get - Template
Volunteers and Willing Helpers Checklist
This Aviva Loss Prevention Standard checklist helps organizations manage the safety of volunteers and willing helpers. It guides risk assessments, updates to health and safety policies, role specific procedures, and training. It covers PPE, welfare and first aid, lone working, and supervision. It also includes identity verification, DBS checks where relevant, and driving due diligence such as entitlement, training, vehicle condition, and reporting collisions. Adapt this template to your operations and local requirements.
by MittiDownloads: 20+Get - Template
Floorplan Site Audit Checklist
Use this floorplan site audit checklist to verify that motor vehicles are physically on-site at the dealership and accurately recorded in MinIT. Inspect and record registration, make and model, color, VIN or engine numbers, and overall condition. Confirm MinIT loan numbers and vehicle identifiers match records, capture supporting photos, and obtain sign-off to certify an actual inspection occurred. Ideal for lenders, auditors, and dealership teams managing floorplan financing compliance and asset verification.
by Darin Sneesby, from the CommunityDownloads: 20+Get - Template
Suppliers Due Diligence - Claims
This supplier due diligence checklist focuses on insurance claims and regulatory compliance for Australian financial services. It helps assess documented claims processes aligned to the General Insurance Code of Practice, quality assurance, and fraud and anti-money laundering controls. It includes checks for vulnerable customer handling, complaints and IDR reporting to ASIC, and outsourcing governance. The template verifies AFS Licence status and obligations, conflicts of interest, and records management. It reviews information security frameworks, control testing, cyber incident notification to the Australian Cyber Security Centre, user access reviews, and segregation of duties. Business resilience sections cover BIA, BCP, IT service continuity, and disaster recovery. Additional sections address staff training and competence, incident management and AFCA notices, privacy governance and designated officer, and modern slavery risk management.
by Julie Zhu, from the CommunityDownloads: 20+Get - Template
NCR to Loomis ATM Handover v1.02
This template guides NCR engineers through handing over an ATM site to Loomis during migration. It covers verification of inner safe doors, application of ISD keys and codes, Cencon lock replacement and serial capture, AMC code requests, and alarm details including fobs and pin codes. It includes blue box access and reprogramming, phone and line checks, and staged handover steps with key and code transfer. Final sections capture exceptions, comments, and sign off for both parties.
by Graeme Edwards, from the CommunityDownloads: 20+Get - Template
Check List Operativo de Sucursal de Empeño
Esta plantilla de checklist operativo está diseñada para evaluar el orden y la limpieza en tienda, la atención al cliente y la gestión diaria de préstamos en una sucursal de empeño. Incluye verificación de bitácoras, seguimiento de cuentas en vencimiento y por vencer, procesos de valuación y cotización, oferta de promociones y servicios, así como el uso de materiales POP y cumplimiento de estándares del equipo. Es ideal para líderes de tienda y promotores valuadores que buscan estandarizar operaciones y mejorar resultados.
by Kevin Abadia, from the CommunityDownloads: 20+Get - Template
Virtual Risk Assessment Questionnaire
Use this virtual risk assessment questionnaire to conduct remote property and operations risk reviews. Capture key details on construction, occupancy, hazardous activities, utilities, storage and flammable liquids, loss prevention controls, fire water supply, sprinklers, detection, hydrants, extinguishers and response. Assess security controls, CCTV and patrols, cash handling, external and natural hazards, and business interruption. Document dependencies, IT backup and recovery, continuity planning, and overall findings to support insurance underwriting and risk improvement.
by Jessica Rowe, from the CommunityDownloads: 20+Get - Template
Client File Audit Checklist for Financial Services
This client file audit checklist helps financial services teams verify documentation and compliance across the advice process. It prompts reviewers to confirm the presence and delivery of a Record of Advice, client signatures, disclosures, and clear articulation of client needs, recommendations, and decisions. The checklist also covers tax implications, exclusions, waiting periods, and the overall advice workflow, enabling accurate, consistent auditing and regulatory readiness for advisors, compliance officers, and key individuals.
by Nicky Eilers, from the CommunityDownloads: 20+Get - Template
SafetyCulture Care Commercial Insurance Application
This digital application template helps brokers and businesses gather the information required to place commercial insurance. Capture lines of business, effective and expiration dates, current coverage details, limits, and required documents like ACORD applications and loss runs. Collect key risk data for property, general liability, workers’ compensation, commercial auto, and umbrella, including operations, revenue, payroll, square footage, drivers and vehicles. Use attachments for policies and MVRs and alert an underwriter when ready to review.
by Andrea Rosen, from the CommunityDownloads: 20+Get - Template
Machinery Maintenance and Servicing Checklist
This machinery maintenance and servicing checklist helps teams plan routine services and record work performed to keep equipment safe and reliable. Capture machine hours, select the service type, and verify critical components including tyres, belts and pulleys, batteries, air and oil filters, safety mechanisms, electrical connections, lubrication points, blades, and operator controls. Log service parts used and document all actions for auditability and compliance. Ideal for workshops and field operations maintaining industrial and heavy equipment.
by Jo Donn, from the CommunityDownloads: 20+Get - Template
Cash Management Centre Procedures and Work Instructions
Comprehensive procedures and work instructions for Cash Management Centre operations covering bulk cash receipt, verification under CCTV, teller recording on whiteboards, seal number logging in eViper and the Float Register, ATM canister packing, reconciliation and variance management, OB entries, custody and escalation protocols, unused float controls, weekly checks, and secure filing. Designed for CMC supervisors, tellers, and custodians to ensure compliant, auditable, and secure cash handling.
by S Grobler, from the CommunityDownloads: 20+Get - Template
ICE RM Residential Insurance Survey
Use the ICE RM residential insurance survey checklist to document property details and evaluate risk across construction, occupancy, and site exposures. Record building age, elevations, roof and floor construction, utilities, and management systems. Assess fire detection, sprinklers, security, flood and windstorm exposure, subsidence, asbestos, and public liability controls. Log loss history, contractor controls, housekeeping, and neighboring exposures, plus signatures from the risk surveyor and insured.
by Darryl Morgan, from the CommunityDownloads: 20+Get - Template
GEICO ARX Program Audit Checklist
This GEICO ARX Program Audit checklist helps assess body shop compliance with ARX requirements and rental readiness. Evaluate appointment scheduling, designated parking, on-site certification, and Enterprise workspace. Score customer service metrics including RCS, RVQ, and ESQI. Verify rental vehicle preparation and readiness across units, covering mechanical condition, fuel level, cleanliness, documentation, and safety items. Use this template to standardize audits, identify gaps, and improve claim partner and customer experience.
by Pablo Moreno, from the CommunityDownloads: 20+Get - Template
Work Quotations Template
This Work Quotations template helps teams prepare clear, professional quotes for services or jobs. Capture client or site details, location, prepared by, and date. Record the issue or fault, outline the scope of works, and attach photos for clarity. Include client name and address, plus any recommended additional works to upsell or flag follow‑on tasks. Designed as a starting point for consistent quoting and record keeping, this template supports efficient approvals and transparent communication with clients.
by Gary Hance, from the CommunityDownloads: 20+Get - Template
Cost Segregation Checklist
This cost segregation checklist helps teams document and classify property assets for a cost segregation study. Capture details across site improvements, lighting, landscaping, parking lots, and building interiors. Record counts and types for electrical, data, lighting fixtures, finishes, flooring, cabinetry, countertops, plumbing, wall coverings, and bathroom components. The checklist supports identifying and quantifying assets that may qualify for shorter recovery periods, streamlining depreciation schedules and supporting tax compliance and potential savings.
by Eric Curran, from the CommunityDownloads: 20+Get - Template
CET Scope Issue Report Form
This CET Scope Issue Report Form supports insurance claim progression by capturing all details from a site visit. Record claim information, insured and client data, dates, times, addresses, and contact numbers. Document repair team assignments, findings, photos, and comments. Summarize the scope of works, resolution decisions, agreed timelines, awareness of all parties, and whether compensation is due. Collect additional notes and secure signatures from the CET representative and the insured or their representative to finalize the report and move the claim forward.
by Scott Hughes, from the CommunityDownloads: 20+Get - Template
RPD Vendor Scoresheet v1.2
This RPD Vendor Scoresheet v1.2 helps teams evaluate vendor performance in a consistent, auditable way. Score vendors against SLA and contract compliance, legal and regulatory requirements, standards, service delivery, resources, staff effectiveness, responsiveness, work quality, timeliness, planning, cost control, reporting, innovation, support, and customer satisfaction. Use the 1 to 5 rating scale with clear thresholds to identify excellence, highlight issues, and inform re evaluation or replacement decisions.
by Hector Lopez, from the CommunityDownloads: 20+Get - Template
Checklist de Cobranza
Esta plantilla de cobranza te ayuda a centralizar la gestión de cuentas por cobrar. Registra fechas de visita o contacto, responsable, ubicación o sucursal, y observaciones clave para cada cuenta. Estandariza cómo capturas pagos, promesas, incidencias y notas de seguimiento, facilitando el control de cartera y la comunicación entre equipos. Incluye secciones para datos básicos del reporte, estación o punto de atención y comentarios, lo que permite documentar evidencias y mejorar los tiempos de recuperación. Úsala para auditar procesos de cobro y priorizar acciones.
by Moises Cisneros, from the CommunityDownloads: 20+Get - Template
SOX Audit Checklist for Sections 302 and 404
This SOX audit checklist helps internal auditors assess controls required by Sections 302 and 404. It focuses on preventing data tampering, timestamping and secure storage of records, tracking and logging access from multiple sources, and ensuring safeguards are operational through scheduled reporting. It also covers breach detection using correlation and alerting, use of ticketing for incident tracking, and role-based permissions for auditor access. The checklist guides regular effectiveness reporting and proper disclosure of safeguards, breaches, and failures to SOX auditors.
by Patience Curtis, from the CommunityDownloads: 20+Get
Practical safety and quality resources for financial and insurance services teams
Manage financial and insurance operations with ready-made resources that help teams stay consistent and reduce manual work. SafetyCulture’s Content Library is an online hub for financial and insurance services training courses, checklists, and templates designed to support day-to-day compliance and operational tasks. It gives teams a faster way to access guidance and conduct audits without rebuilding documents from scratch.
Why digital resources matter
Because the library is digital, resources are easier to update, share, and apply across teams. That supports better alignment and reduces the friction caused by scattered files and outdated documents.
Explore a few ways these Content Library resources support financial and insurance work:
Easily spot warning signals in financial systems with anti-money laundering courses.
Make operations smoother with vendor management and purchase order forms.
Maintain organizational health with business continuity and business analysis templates.
Efficiency grows when touch points between teams are fast and smooth. Ready-made digital resources used in the SafetyCulture platform help support that efficiency by promoting clearer inspections, real-time visibility, and more reliable practices across sites.